2022-08-15T14:26:39-05:00 2021-09-30 221478099 COHNREZNICK LLP 7501 WISCONSIN AVENUE SUITE 400E BETHESDA MD 20814 990 2020-10-01 860138043 ASSOCIATION OF UNIVERSITIES FOR RESEARCH IN ASTRONOMY INC ASSO 2024832101 1331 PENNSYLVANIA AVENUE NW NO 1 WASHINGTON DC 20004 BARBARA LAM CHIEF FINANCIAL OFFICER 2024832101 2022-08-15 1 BARBARA LAM 999009999 DANIEL O'SHEA P00957510 3016529100 2022-08-15 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z CHARLES MOUNTAIN 1331 PENNSYLVANIA AVENUE NW NO 1475 WASHINGTON DC 20004 373513559 0 X WWW.AURA-ASTRONOMY.ORG X 1957 AZ TO PROMOTE EXCELLENCE IN ASTRONOMICAL RESEARCH. 17 16 1461 21 0 0 197694512 189038468 158580052 166246031 462883 494696 252074 299254 356989521 356078449 38221680 38737147 0 0 199318910 201551375 0 0 0 123333647 113072999 360874237 353361521 -3884716 2716928 105391244 116722418 110860313 112486489 -5469069 4235929 AURA PROVIDES INNOVATIVE, OPEN RESOURCES TO ENABLE DISCOVERY AND EXCELLENCE IN RESEARCH, TO UNIFY THE ASTROPHYSICS COMMUNITIES, AND TO PROMOTE PUBLIC UNDERSTANDING OF OUR UNIVERSE AND THE BENEFITS OF SCIENTIFIC EXPLORATION. 0 0 321517263 38737147 166246031 AURA OVERSEES AND MANAGES THE NATIONAL OPTICAL-INFRARED ASTRONOMY LABORATORY (NOIRLAB), THE NATIONAL SOLAR OBSERVATORY (NSO), AND THE VERA C. RUBIN OBSERVATORY CONSTRUCTION (RUBIN CONSTRUCTION OR LSSTPO) UNDER AGREEMENTS WITH THE NATIONAL SCIENCE FOUNDATION (NSF), AS WELL AS THE SPACE TELESCOPE SCIENCE INSTITUTE (STSCI) UNDER AN AGREEMENT WITH THE NATIONAL AERONAUTICS AND SPACE ADMINISTRATION (NASA). IN COLLABORATION WITH THE NSF, AURA INTEGRATED THE ACTIVITIES OF THE NATIONAL OPTICAL ASTRONOMY OBSERVATION (NOAO), THE GEMINI OBSERVATORY (GEMINI), AND THE VERA C. RUBIN OBSERVATORY (RUBIN OR LSST OPERATIONS) INTO A SINGLE CENTER NAMED NATIONAL OPTICAL-INFRARED ASTRONOMY LABORATORY (NOIRLAB). 321517263 1 1 0 1 0 0 0 0 1 0 1 0 0 1 1 1 1 0 0 1 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 164 0 1 1461 1 0 1 CI AS 0 0 0 0 0 0 0 0 0 0 X 17 16 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 AZ X BARBARA LAM 2024832101 1331 PENNSYLVANIA AVENUE NW NO 1475 WASHINGTON DC 20004 SARBANI BASU VICE-CHAIR AND DIR. UNTIL 6/30/21 0.50 X X 0 0 0 DEBRA ELMEGREEN CHAIR UNTIL 6/30/21 0.50 X X 0 0 0 MAURA HAGAN CHAIR AND DIRECTOR 0.50 X X 0 0 0 MEGAN DONAHUE VICE-CHAIR AND DIRECTOR 0.50 X X 0 0 0 CHARLES MOUNTAIN PRESIDENT/DIRECTOR 40.00 1.00 X X 571998 0 61515 ANDREW BAKER DIRECTOR 0.50 X 0 0 0 MARTIN BARSTOW DIRECTOR 0.50 X 0 0 0 JAMES CROCKER DIRECTOR 0.50 X 0 0 0 KIMBERLY ESPY DIRECTOR 0.50 X 0 0 0 TODD HOEKSEMA DIRECTOR 0.50 X 0 0 0 JILL HRUBY DIRECTOR UNTIL 6/30/21 0.50 X 0 0 0 KAREN BJORKMAN DIRECTOR 0.50 X 0 0 0 ROGER DAVIES DIRECTOR 0.50 X 0 0 0 CHYRSSA KOUVELIOTOU DIRECTOR 0.50 X 0 0 0 MARK PHILLIPS DIRECTOR 0.50 X 0 0 0 ROB PIKE DIRECTOR 0.50 X 0 0 0 DAVID REITZE DIRECTOR 0.50 X 0 0 0 MARIA TERESA RUIZ DIRECTOR 0.50 X 0 0 0 ROBERT SHELTON DIRECTOR UNTIL 6/30/21 0.50 X 0 0 0 TOM WOODS DIRECTOR UNTIL 6/30/21 0.50 X 0 0 0 JAMES YECK DIRECTOR 0.50 X 0 0 0 JEFF HALL DIRECTOR 0.50 X 0 0 0 NANCI REICH DIRECTOR OF CORP. OPS/SECRETARY 40.00 1.00 X 105219 0 41610 BARBARA LAM CFO 40.00 1.00 X 243036 0 56014 PATRICK MCCARTHY NSO DIRECTOR 40.00 X 343978 0 27531 INGER JORGENSEN NSO DIRECTOR 40.00 X 219643 0 29109 HEIDI HAMMEL VP FOR SCIENCE 40.00 X 315946 0 60268 PHILIP PUXLEY VP FOR SPECIAL PROJECTS 40.00 X 277305 0 35212 JERMERY WEIRICH VP FOR CORPORATE STRATEGY 40.00 X 305222 0 29633 VALEN SCHNADER VP FOR OPERATIONS AND CHIEF OF STAFF 40.00 X 339737 0 53313 DANA LEHR VP PROGRAMS 40.00 X 273222 0 63271 KENNETH SEMBACH STSCI DIRECTOR 40.00 X 383429 0 52813 NANCY LEVENSON STSCI DEPUTY DIRECTOR 40.00 X 287477 0 52958 DONALD HOUGH STSCI ASSOC. DIRECTOR, ADMIN. 40.00 X 259459 0 56052 ADAM BOLTON NOIRLAB - COMMUNITY SCIENCE DATA CEN 40.00 X 190923 0 46525 BETH W LEFKON NOIRLAB DEPUTY DIRECTOR 40.00 X 248824 0 38796 JENNIFER M LOTZ NOIRLAB - GEMINI DIRECTOR 40.00 X 267025 0 30250 VICTOR KRABBENDAM VR CONSTRUCTION - PROJECT MANAGER 40.00 X 251888 0 63784 VALENTIN PILLET NSO DIRECTOR 40.00 X 282018 0 55323 THOMAS RIMMELE NSO - ASSOC. DIRECTOR - DKIST 40.00 X 252348 0 47472 NEILL REID STSCI ASSOC. DIRECTOR FOR SCIENCE 40.00 X 251473 0 57294 SIMON CRAIG SR. 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PROVIDING INFORMATION TO MEMBERS OF CONGRESS REGARDING RESEARCH ACTIVITIES AND ADVANCEMENTS IN THE FIELD OF ASTRONOMY FOR THE PURPOSE OF CONTINUED GOVERNMENT AGENCY FUNDING. 0 1 X 279119 279119 1194831 464296 730535 5060650 3943559 1117091 37821 37821 5740923 5272462 468461 2633027 U.S. DEPARTMENT OF ENERGY'S DARK ENERGY CAMERA 29676639 29676639 ACCRUED POSTRETIREMENT BENEFIT OBLIGATION 2009873 DEFERRED RENT AND LEASE INCENTIVE LIABILITY 220836 POST-EMPLOYMENT BENEFITS 4667856 6898565 X 355923962 -206623 -206623 356130585 -52136 -52136 356078449 353413657 52136 52136 353361521 0 353361521 PART IV, LINE 1B: PROPERTY ACQUIRED UNDER THE TERMS OF NSF AND NASA AGREEMENTS. PART IV, LINE 2B: AURA HOLDS CUSTODY OF ASSETS FOR CONICYT, THE SMALL AND MODERATE APERTURE RESEARCH TELESCOPE SYSTEM 2 PROJECTS, AURA'S 457 (B) DEFERRED COMPENSATION TRUST, AURA'S RABBI TRUST, PROPERTY FOR THE U.S. DEPARTMENT OF ENERGY NAMED THE DARK ENERGY CAMERA (DECAM), AND EQUIPMENT FOR THE CHINESE ACADEMY OF SCIENCE, SOUTH AMERICA CENTER FOR ASTRONOMY (CASSACA). THESE ASSETS HELD FOR OTHERS ARE TO FACILITATE AND ARE IN SUPPORT OF THE SCIENCE COMMUNITY. PART X, LINE 2: AURA HAS BEEN RECOGNIZED BY THE INTERNAL REVENUE SERVICE (IRS) AS A 501(C) (3) ORGANIZATION EXEMPT FROM FEDERAL INCOME TAXES UNDER INTERNAL REVENUE SERVICE CODE (IRC) SECTION 501(A). AURA FOLLOWS THE INCOME TAX STANDARD FOR UNCERTAIN TAX POSITIONS. MANAGEMENT BELIEVES IT HAS NO MATERIAL UNCERTAIN TAX POSITIONS OR ANY RELATED PENALTIES AND INTEREST TO ACCRUE FOR THE YEARS ENDED SEPTEMBER 30, 2021 AND 2020, AND, ACCORDINGLY, THERE IS NO LIABILITY FOR UNRECOGNIZED TAX BENEFITS. TAX YEARS PRIOR TO 2018 ARE NO LONGER SUBJECT TO EXAMINATION BY THE INTERNAL REVENUE SERVICE OR THE APPLICABLE STATE JURISDICTIONS. PART XI, LINE 4B - OTHER ADJUSTMENTS: RENTAL EXPENSES -52,136. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES 52,136. SOUTH AMERICA - ARGENTINA, BOLIVIA, BRAZIL, CHILE, COLUMBIA, ECUADOR, 2 230 PROGRAM SERVICES CONSTRUCTING, OPERATING, AND MAINTAINING ASTRONOMICAL RESEARCH OBSERVATORIES. AURA OPERATES THE NATIONAL OPTICAL-INFRARED ASTRONOMY LABORATORY (NOIRLAB), AND IS CONSTRUCTING THE LARGE SYNOPTIC SURVEY TELESCOPE (RUBIN OBSERVATORY) UNDER COOPERATIVE AGREEMENTS WITHE THE NATIONAL SCIENCE FOUNDATION. 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361297 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF CALIFORNIA - SAN DIEGO 9500 GILMAN DRIVE LA JOLLA CA 92093 956006144 115 194536 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF CALIFORNIA - SANTA BARBARA 3201 SAASB BUILDING PAYROLL OFFICE SANTA BARBARA CA 93106 956006145 115 330206 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF CALIFORNIA - SANTA CRUZ 1156 HIGH STREET SANTA CRUZ CA 95064 941539563 115 1441754 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF CENTRAL FLORIDA 4000 CENTRAL FLORIDA BLVD ORLANDO FL 32816 592924021 115 8504 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF CHICAGO 5801 S ELLIS AVENUE CHICAGO IL 60637 362177139 115 835081 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF CINCINNATI MAIN CAMPUS 500 UNIVERSITY PAVILION CINCINNATI OH 45221 316000989 115 6213 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF COLORADO AT BOULDER 3100 MARINE STREET RM 479 572 UCB BOULDER CO 80303 840644739 115 1041858 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF CONNECTICUT MANSFIELD ROAD STORRS CT 06269 060772160 115 18103 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF DELAWARE 220 HULLIHEN HALL NEWARK DE 19716 516000297 115 17185 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF FLORIDA 207 GRINTER HALL GAINESVILLE FL 32611 596002052 115 131861 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF HAWAII 2425 CAMPUS ROAD HONOLULU HI 96822 996000354 115 515571 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF ILLINOIS 1901 SOUTH FIRST STREET SUITE -A CHAMPAIGN IL 61820 376000511 115 328276 SCIENTIFIC RESEARCH AND DEVELOPMENT FOR LSST UNIVERSITY OF ILLINOIS AT SPRINGFIELD ONE UNIVERSITY PLAZA SPRINGFIELD IL 62703 376052605 115 14295 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF ILLINOIS AT URBANA - CHAMPAIGN 901 WEST ILLINOIS STREET URBANA IL 61801 376000511 115 107225 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF KANSAS CENTER FOR RESEARCH INC 2385 IRVING HILL ROAD LAWRENCE KS 66045 480680117 501(C)(3) 94650 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF KENTUCKY 101 MAIN BUILDING LEXINGTON KY 40506 616001218 115 116783 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF MARYLAND 3112 LEE BLDG 7809 REGENTS DRIVE COLLEGE PARK MD 20742 526002033 115 462459 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF MARYLAND BALTIMORE COUNTY 1000 HILLTOP CIRCLE BALTIMORE MD 21250 521125663 115 81883 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF MASSACHUSETTS - AMHERST AMHERST AMHERST MA 01003 043167352 115 465017 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF MICHIGAN 503 THOMPSON STREET ANN ARBOR MI 48109 386006309 115 574986 SCIENTIFIC 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UNIVERSITY OF OKLAHOMA - NORMAN CAMPUS 731 ELM STREET NORMAN OK 73019 736017987 115 102353 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF PITTSBURGH 3520 FIFTH AVENUE PITTSBURGH PA 15213 250965591 115 54467 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF ROCHESTER 601 ELMWOOD AVENUE ROCHESTER NY 14642 160743209 501(C)(3) 16099 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF SAN FRANCISCO 2130 FULTON STREET SAN FRANCISCO CA 94117 946036493 501(C)(3) 75555 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF SOUTH CAROLINA 1244 BLOSSOM STREET COLUMBIA SC 29208 576001153 115 66645 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF SOUTH CAROLINA RESEARCH FOUNDATION 915 BULL ST OSBOURNE ADMIN BLDG 202 COLUMBIA SC 29208 570967350 501(C)(3) 9590 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF SOUTHERN CALIFORNIA 3667 SOUTH MCCLINTOCK AVENUE LOS ANGELES CA 90089 951642394 501(C)(3) 10345 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF TAMPA 401 W KENNEDY BLVD TAMPA FL 33606 590624459 501(C)(3) 18904 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF TEXAS AT AUSTIN 110 INNER CAMPUS DRIVE AUSTIN TX 78712 746000203 115 748574 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF THE VIRGIN ISLANDS ST THOMAS CAMPUS 2 JOHN BREWERS BAY BAY ST THOMAS VI 00802 660432514 115 55582 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF TOLEDO 2801 W BANCROFT TOLEDO OH 43606 346401483 115 113492 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF UTAH 201 PRESIDENTS CIRCLE SALT LAKE CITY UT 84112 876000525 115 66666 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF VIRGINIA 1001 N EMMET STREET CHARLOTTESVILLE VA 22903 546001796 115 157447 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF WASHINGTON 4333 BROOKLYN AVENUE NE SEATTLE WA 98195 916001537 115 1035815 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF WISCONSIN - MADISON 21 N PARK STREET MADISON WI 53715 396006492 115 306603 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UNIVERSITY OF WISCONSIN - MILWAUKEE 3203 NORTH DOWNER AVE MILWAUKEE WI 53211 391805963 115 29626 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE UTAH VALLEY UNIVERSITY 800 WEST UNIVERSITY PARKWAY OREM UT 84058 870280648 115 13266 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE VASSAR COLL 124 RAYMOND AVENUE POUGHKEEPSIE NY 12604 141338587 501(C)(3) 11535 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE VILLANOVA UNIVERSITY 800 LANCASTER AVENUE VILLANOVA PA 19085 231352688 501(C)(3) 142876 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE VIRGINIA TECH VIRGINIA TECH BLACKSBURG VA 24061 546001805 115 57234 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE WASHINGTON STATE UNIVERSITY 370 LIGHTY STUDENT SERVICES BLDG PULLMAN WA 99164 916001108 115 11046 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE WAYNE STATE UNIVERSITY 42 W WARREN AVE DETROIT MI 48202 386028429 115 18430 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE WESLEYAN UNIVERSITY 237 HIGH STREET MIDDLETOWN CT 06459 060646959 501(C)(3) 184845 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE WILLIAMS COLLEGE 880 MAIN STREET WILLIAMSTOWN MA 01267 042104847 501(C)(3) 55780 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE WIYN CONSORTIUM INC 950 N CHERRY AVENUE TUCSON AZ 85719 860669456 501(C)(3) 2238907 SCIENTIFIC RESEARCH AND DEVELOPMENT FOR THE WIYN 3.5 METER TELESCOPE FACILITY YALE UNIVERSITY 105 WALL STREET NEW HAVEN CT 06511 060646973 501(C)(3) 222385 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE YOUNGSTOWN STATE UNIVERSITY ONE UNIVERSITY PLAZA YOUNGSTOWN OH 44555 341011998 115 7156 SCIENTIFIC RESEARCH ON DATA FROM HUBBLE SPACE TELESCOPE 134 2 PART I, LINE 2: AURA MONITORS THE USE OF GRANT FUNDS IN ACCORDANCE WITH THE UNIFORM GUIDANCE SUBRECIPIENT MONITORING AND MANAGEMENT TO ENSURE ACCEPTABLE PERFORMANCE IS ACHIEVED. X X X X 0 1 0 0 0 0 0 1 0 CHARLES MOUNTAIN PRESIDENT/DIRECTOR 510853 0 40000 0 21145 0 28500 0 33015 0 633513 0 0 0 KENNETH SEMBACH STSCI DIRECTOR 382856 0 0 0 573 0 28500 0 24313 0 436242 0 0 0 VALEN SCHNADER VP FOR OPERATIONS AND CHIEF OF STAFF 308592 0 10000 0 21145 0 28500 0 24813 0 393050 0 0 0 HEIDI HAMMEL VP FOR SCIENCE 314525 0 0 0 1421 0 28500 0 31768 0 376214 0 0 0 PATRICK MCCARTHY NSO DIRECTOR 342450 0 0 0 1528 0 25500 0 2031 0 371509 0 0 0 NANCY LEVENSON STSCI DEPUTY DIRECTOR 271942 0 2500 0 13035 0 28500 0 24458 0 340435 0 0 0 VALENTIN PILLET NSO DIRECTOR 280946 0 0 0 1072 0 25500 0 29823 0 337341 0 0 0 DANA LEHR VP PROGRAMS 268034 0 5000 0 188 0 27683 0 35588 0 336493 0 0 0 JERMERY WEIRICH VP FOR CORPORATE STRATEGY 297348 0 7500 0 374 0 28500 0 1133 0 334855 0 0 0 SIMON CRAIG SR. SYSTEMS ENGINEER 287039 0 0 0 1046 0 18639 0 12454 0 319178 0 0 0 VICTOR KRABBENDAM VR CONSTRUCTION - PROJECT MANAGER 250816 0 0 0 1072 0 25500 0 38284 0 315672 0 0 0 DONALD HOUGH STSCI ASSOC. DIRECTOR, ADMIN. 236391 0 2500 0 20568 0 26023 0 30029 0 315511 0 0 0 PHILIP PUXLEY VP FOR SPECIAL PROJECTS 269658 0 7500 0 147 0 27266 0 7946 0 312517 0 0 0 NEILL REID STSCI ASSOC. DIRECTOR FOR SCIENCE 248244 0 2500 0 729 0 25258 0 32036 0 308767 0 0 0 WILLIAM O'MULLANE PROJECT MGR - VR CONSTRUCTION 245261 0 0 0 38005 0 14285 0 10946 0 308497 0 0 0 PAUL JEFFERS IT&C EXECUTION MANGER 256160 0 7783 0 207 0 16926 0 19137 0 300213 0 0 0 THOMAS RIMMELE NSO - ASSOC. DIRECTOR - DKIST 233266 0 3500 0 15582 0 25500 0 21972 0 299820 0 0 0 BARBARA LAM CFO 235036 0 7500 0 500 0 24194 0 31820 0 299050 0 0 0 JENNIFER M LOTZ NOIRLAB - GEMINI DIRECTOR 266693 0 0 0 332 0 26792 0 3458 0 297275 0 0 0 HEATHER MARSHALL IT&C GROUP MANGER 247817 0 7785 0 17166 0 17027 0 6780 0 296575 0 0 0 BETH W LEFKON NOIRLAB DEPUTY DIRECTOR 248592 0 0 0 232 0 25049 0 13747 0 287620 0 0 0 INGER JORGENSEN NSO DIRECTOR 218143 0 0 0 1500 0 21814 0 7295 0 248752 0 0 0 ADAM BOLTON NOIRLAB - COMMUNITY SCIENCE DATA CEN 187158 0 3500 0 265 0 19938 0 26587 0 237448 0 0 0 PART I, LINE 4B THE ORGANIZATION MAINTAINED A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN FOR CHARLES MOUNTAIN. THERE WERE NO CONTRIBUTIONS INTO THE PLAN IN 2020. PART I, LINE 7 AURA PROVIDED BONUSES BASED ON INDIVIDUAL PERFORMANCE, RETENTION, MERIT, AND ADDITIONAL DUTIES. FORM 990, PART VI, SECTION A, LINE 6 THE BYLAWS OF THE ORGANIZATION PROVIDE FOR A BODY OF MEMBER REPRESENTATIVES THAT PERFORM AN ANNUAL REVIEW OF THE ACTIVITIES OF THE ORGANIZATION AND OTHER ISSUES DEEMED WORTHY OF CONSIDERATION IN THE MANAGEMENT AND GOVERNANCE OF THE ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 7A THE MEMBER REPRESENTATIVES ELECT THE CHAIR AND MEMBERS OF THE BOARD OF THE DIRECTORS ON AN ANNUAL BASIS. FORM 990, PART VI, SECTION A, LINE 7B MEMBERS MAKE UP THE AUDIT COMMITTEE WHICH ARE GIVEN RESPONSIBILITY FOR THE SELECTION OF EXTERNAL AUDITORS. FORM 990, PART VI, SECTION B, LINE 11B THE 990 IS REVIEWED AND APPROVED BY AURA MANAGEMENT AND THE AURA AUDIT COMMITTEE. ONCE REVIEWED/APPROVED, COPIES ARE PROVIDED TO THE BOARD. FORM 990, PART VI, SECTION B, LINE 12C THE CONFLICT OF INTEREST (COI) POLICY IS MONITORED AND ENFORCED BY THE HUMAN RESOURCE (HR) OFFICE AND THROUGH AURA'S INTERNAL CONTROLS TO ENSURE THAT THE ORGANIZATION AND ITS EMPLOYEES ARE IN COMPLIANCE WITH THE COI POLICY. ANNUALLY, THE HR OFFICE COLLECTS COMPLETED COI DISCLOSURE STATEMENTS FROM EMPLOYEES. ALSO, BOARD MEMBERS ARE RESPONSIBLE TO BE ALERT OF ANY COI. IF ONE IS TO EXIST, THE BOARD MEMBER IS EITHER TO DISCLOSE THE INTEREST IN FULL TO THE OTHER MEMBERS OF THE BOARD OR COMMITTEE OR BE RECUSED FROM DELIBERATION OR VOTES OF THE BOARD OR COMMITTEE ON THE MATTER OF POTENTIAL CONFLICT. IN EITHER CASE, THE MINUTES OF THE BOARD OR COMMITTEE SHALL RECORD THE EXERCISE OF EITHER OPTION AND THE RESPONSE OF THE BOARD COMMITTEE TO THAT MATTER. FORM 990, PART VI, SECTION B, LINE 15 AURA'S COMPENSATION POLICY SETS STANDARDS AND PROCEDURES MONITORED AND ENFORCED BY THE HUMAN RESOURCE (HR) DEPARTMENT. THE HR DEPARTMENT PERFORMS A COMPARABILITY DATA ANALYSIS RELATED TO THE PRESIDENT'S, VICE PRESIDENTS' (VPS), CENTER DIRECTORS', AND CENTER KEY EMPLOYEES' COMPENSATION USING VARIOUS TOOLS AND EXTERNAL RESOURCES. THE ORIGINAL COMPENSATION DURING THE HIRING PROCESS FOR THE PRESIDENT IS REVIEWED AND APPROVED BY THE BOARD OF DIRECTORS. THE ORIGINAL COMPENSATION DURING THE HIRING PROCESS FOR THE DIRECTORS AND VPS IS REVIEWED AND APPROVED BY THE PRESIDENT. THE ORIGINAL COMPENSATION DURING THE HIRING PROCESS FOR CENTER KEY EMPLOYEES IS DETERMINED BY THE RESPECTIVE CENTER DIRECTOR. ANNUALLY, MERIT INCREASES FOR THE PRESIDENT, DIRECTORS, AND CENTER KEY EMPLOYEES ARE REVIEWED AND APPROVED BY THE BOARD OF DIRECTORS AND THE VPS COMPENSATION IS REVIEWED AND APPROVED BY THE PRESIDENT. AURA'S HR DEPARTMENT RETAINS THE DOCUMENTATION OF THE COMPENSATION APPROVAL BY THE BOARD OF DIRECTORS. THE LAST YEAR THIS PROCESS TOOK PLACE FOR THE PRESIDENT, VICE PRESIDENTS, CENTER DIRECTORS, AND FOR CENTER KEY EMPLOYEES WAS DURING FY2020. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART IX, LINE 11G RESEARCH AND DEVELOPMENT PROGRAM SERVICES EXPENSES: PROGRAM SERVICE EXPENSES 67,628,790. MANAGEMENT AND GENERAL EXPENSES 3,125,998. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 70,754,788. FORM 990, PART XI, LINE 9: POSTRETIREMENT CHANGES 7,194,693. AURA RETIREE HEALTH BENEFIT TRUST 1331 PENNSYLVANIA AVE NW 1475 WASHINGTON DC 20004 526775182 TO PROVIDE POST-RETIREMENT HEALTH BENEFITS DC 501(C)(9) AURA 1 0 0 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 1 0 AURA RETIREE HEALTH BENEFIT TRUST R 655057 CASH